Weekly Roundup of Exchange Rules by Category

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC's notices of exchange rule changes and proposals from February 22, 2016 to February 26, 2016.

Clearance & Settlement:

• ICE EU: Notice of Filing of a Proposed Rule Change Relating to Additions to Permitted Cover (Release No. 34-77234; File No. SR-ICEEU-2016-004; February 25, 2016)

Corporate Governance:

• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual to Adopt a Requirement that Listed Foreign Private Issuers Must, At a Minimum, Submit a Form 6-K to the Securities and Exchange Commission Containing Semi-Annual Unaudited Financial Information (Release No. 34-77198; File No. SR-NYSE-2016-12; February 19, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships (Release No. 34-77186; File No. SR-Phlx-2016-20; February 19, 2016); see also Exhibit 5
• NYSE MKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1206 and 1212T of the NYSE MKT Company Guide (Release No. 34-77210; File No. SR-NYSEMKT-2016-27; February 23, 2016); see also Exhibit 5

Fees, Fines, Rebates & Claims:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Eliminate Certain Fees Which Relate to the Series 56 Examination and to Include Certain Fees Which Relate to Series 57 Examination and Continuing Education (Release No. 34-77193; File No. SR-BOX-2016-09; February 19, 2016); see also Exhibit 5
• EDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as Applicable to the Equity Options Platform (Release No. 34-77211; File No. SR-EDGX-2016-10; February 23, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5940 to Adopt Entry and Annual Fees for NextShares (Release No. 34-77191; File No. SR-NASDAQ-2016-025; February 19, 2016); see also Exhibit 5
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018 (Release No. 34-77239; File No. SR-NASDAQ-2016-027; February 25, 2016); see also Exhibit 5
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section II of the Exchanges Pricing Schedule (Release No. 34-77221; File No. SR-Phlx-2016-26; February 24, 2016); see also Exhibit 5

Licensing & Registration:

• C2: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 8.2 (Release No. 34-77194; File No. SR-C2-2016-002; February 19, 2016)
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct the Text of ISE Rule 313 (Release No. 34-77199; File No. SR-ISE-2016-05; February 22, 2016); see also Exhibit 5
• ISE Gemini: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct the Text of ISE Gemini Rule 306 (Release No. 34-77230; File No. SR-ISEGemini-2016-01; February 25, 2016); see also Exhibit 5

Miscellaneous:

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Controversial and Clerical Amendments to its Rules (Release No. 34-77229; File No. SR-BOX-2016-10; February 25, 2016); see also Exhibit 5
• FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) (Release No. 34-77212; File No. SR-FINRA-2016-004; February 23, 2016); see also Exhibit 5
• Interactive Data Public Test Suite (February 13, 2016; SEC, EDGAR, Interactive Data, XBRL)
• NMS: Notice of Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc (Release No. 34-77205; File No. 4-631; February 22, 2016)

Products:

• BATS: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust (Release No. 34-77209; File No. SR-BATS-2015-94; February 23, 2016)
• BATS: Notice of Filing of Amendments No. 1 No. 3, and No. 4 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendments No. 1, No. 3, and No. 4, to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-77202; File No. SR-BATS-2015-100; February 22, 2016); see also Exhibit 5
• NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III (Release No. 34-77192; File No. SR-NASDAQ-2015-161; February 19, 2016)
• NASDAQ: Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII (Release No. 34-77233; File No. SR-NASDAQ-2016-021; February 25, 2016)
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5745 (Release No. 34-77232; File No. SR-NASDAQ-2016-026; February 25, 2016); see also Exhibit 5
• NYSE Arca: Notice of Filing of Amendment No. 4 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares (Release No. 34-77203; File No. SR-NYSEArca-2015-110; February 22, 2016); see also Exhibit 5

Trading & Trade Reporting:

• BATS: Notice of Filing of a Proposed Rule Change to Adopt an Early Trading Session and Three New Time-in-Force Instructions (Release No. 34-77214; File No. SR-BATS-2016-14; February 23, 2016); see also Exhibit 5
• BATS: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend its Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering (Release No. 34-77222; File No. SR-BATS-2016-17; February 24, 2016); see also Exhibit 5
• BYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, to Amend the Operation of Non-Displayed Orders and Reserve Orders (Release No. 34-77187; File No. SR-BYX-2016-04; February 19, 2016); see also Exhibit 5
• BYX: Notice of Filing of a Proposed Rule Change to Adopt an Early Trading Session and Three New Time-in Force Instructions (Release No. 34-77213; File No. SR-BYX-2016-03; February 23, 2016); see also Exhibit 5
• CBOE: Notice of Filing of a Proposed Rule Change Relating to LMMs and DPMs (Release No. 34-77200; File No. SR-CBOE-2016-009; February 22, 2016); see also Exhibit 5
• EDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions, to Amend the Operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity (Release No. 34-77190; File No. SR-EDGA-2016-03; February 19, 2016); see also Exhibit 5
• FINRA: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program (Release No. 34-77218; File No. SR-FINRA-2015-047; February 23, 2016)
• NASDAQ: Notice of Filing of Proposed Rule Change to Amend Rules 4702 and 4703 (Release No. 34-77226; File No. SR-NASDAQ-2016-023); see also Exhibit 5
• NASDAQ: Order Approving a Proposed Rule Change to Implement Additional Price Protections in the Opening Process (Release No. 34-77235; File No. SR-NASDAQ-2015-159; February 25, 2016)
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.44P Retail Liquidity Program (Release No. 34-77236; File No. SR-NYSEArca-2016-30; February 25, 2016); see also Exhibit 5